FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
FINRA Seeks to Revamp Controversial Arbitration Rules
By Melanie WaddellPIABA's president called FINRA's comment request "a transparent attempt to gut a host of key investor protection safeguards."
February 27, 2026
How to Stay Out of TroubleEven if you think you're not hurting anyone, the consequences of bending or breaking the rules can be serious.
February 26, 2026
FINRA Bars Ex-Morgan Stanley Advisor Over Refusal to Share Info for ProbeThe advisor joined an RIA the month after his Morgan Stanley dismissal.
February 20, 2026
FINRA Suspends Rep Over Variable Annuity SwitchesRobert Settimio Cupello recommended six VA exchanges to seniors without a reasonable basis to believe they were suitable.
February 20, 2026
Fidelity to Pay Nearly $1.3M in Damages Over Structured ProductsClients said the firm committed breach of contract and fiduciary duty in connection with their investments.
February 19, 2026
Merrill Says Dynasty Reneged On Arbitrating Dispute Over Mega-TeamMerrill has accused Dynasty, Schwab and former senior employees of raiding a $129 billion unit to start an RIA.
February 18, 2026
Rep Forged 64 Client Signatures on 115 Annuity Applications: FINRAAvinesh Shankar of Pruco Securities received $511,610 in commissions he was not entitled to, a complaint states.
February 18, 2026
SEC Approves FINRA Gift Limit Boost to $300The previous $100 limit had been in effect since 1992.